SEC FORM
4
SEC Form 4
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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3235-0287 |
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0.5 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
FORTUNE BRANDS INC
[ FO ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
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10% Owner |
| X |
Officer (give title below) |
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Other (specify below) |
| Sr. VP General Counsel & Secy |
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3. Date of Earliest Transaction
(Month/Day/Year) 01/29/2007
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
| 1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
Amount |
(A) or (D) |
Price |
| Common Stock, Par Value $3.125 |
01/29/2007 |
|
A
|
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16,368 |
A |
$81.58
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67,202 |
D |
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| Common Stock, Par Value $3.125 |
01/29/2007 |
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F
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|
6,458 |
D |
$81.58
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60,744 |
D |
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| Common Stock, Par Value $3.125 |
01/29/2007 |
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D
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9,910 |
D |
$81.58
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50,834 |
D |
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| Common Stock, Par Value $3.125 |
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|
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|
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5,667
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I |
By Fortune Brands Retirement Savings Plan Trust. |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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| 1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Explanation of Responses: |
| Remarks: |
|
Angela M. Pla, Attorney-in-Fact for Mark A. Roche |
01/31/2007 |
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** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person,
see
Instruction
4
(b)(v). |
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
rrd127512_143481.html
LIMITED POWER OF ATTORNEY
I, Mark A. Roche, appoint SHERRY R. HAYWOOD, ELIZABETH R. LANE
and ANGELA M. PLA, to serve as my Attorneys-In-Fact and Agents to exercise the
powers and discretions set forth below:
1. To execute on my behalf any and all Securities and Exchange
Commission Forms 3, 4 and 5 relating to the disclosure of my
beneficial ownership of securities in Fortune Brands, Inc.; and
2. To execute all such other documents or things in my name as the
Agents may deem necessary to meet filing requirements of the
Securities Exchange Commission pursuant to the Securities
Exchange Act of 1934.
This Power of Attorney shall at all times be binding with respect to all actions
taken by the Agent in accordance with the terms of this Power of Attorney. The powers
granted by this Power of Attorney shall begin on December 31, 2006 and shall lapse and
cease to have any effect on December 31, 2009.
I, Mark A. Roche, have executed this Limited Power of Attorney on this 5th day
of December, 2006.
/s/ Mark A. Roche
Mark A. Roche
Subscribed and sworn to me
on this 5th day of December, 2006.
/s/ Katherine M. Budin
Notary Public